Bernard M. Kroll

THOMPSON SIEGEL & WALMSLEY LLC

Richmond, VA 23230

Some features on this profile are disabled

CRD#: 6743229

Professional summary

Bernard Michael Kroll, who also goes by Bernard Kroll, Michael Kroll, Bernard Michael Kroll, is a registered financial advisor currently at THOMPSON SIEGEL & WALMSLEY LLC located in Richmond, Virginia.

Bernard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Bernard has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bernard Kroll | Michael Kroll | Bernard Michael Kroll

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

TLMK, LLC; NOT INVESTMENT RELATED; RICHMOND,VA; 50% OWNERSHIP; START DATE 01/15/2020; NUMBER OF HOURS PER MONTH 10; NUMBER OF HOURS DURING TRADING 0; HELPING REMODEL HOMES AND FINDING HOUSES TO PURCHASE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bernard Michael Kroll's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 23, 2024 - Present

THOMPSON SIEGEL & WALMSLEY LLC

Office #1: 6641 West Broad Street Suite 600, Richmond, VA 23230

RIA

CRD#: 105726

Richmond, VA

Past

October 14, 2022 - July 22, 2024

SPIRE WEALTH MANAGEMENT, LLC

RIA

CRD#: 113908

Richmond, VA

Past

October 14, 2022 - July 22, 2024

SPIRE SECURITIES, LLC

CRD#: 144131

Richmond, VA

Past

December 12, 2017 - October 27, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RICHMOND, VA

Past

October 26, 2017 - October 27, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RICHMOND, VA

Past

February 13, 2017 - May 16, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

GLEN ALLEN, VA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THOMPSON SIEGEL & WALMSLEY LLC

THOMPSON SIEGEL & WALMSLEY INC | WPS CAPITAL MANAGEMENT, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | WPS CAPITAL FUND, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | THOMPSON, SIEGEL & WALMSLEY | THOMPSON SIEGEL & WALMSLEY LLC

CRD#: 105726 / SEC#: 801-6273

RIA

Registered Investment Advisory firm - (1/17/1970 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virginia
(7/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/12/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/26/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/13/2017

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THOMPSON SIEGEL & WALMSLEY LLC

CRD#: 105726 / SEC#: 801-6273

RIA

Registered Investment Advisory firm - (1/17/1970 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6641 West Broad Street Suite 600, Richmond, VA 23230

Mailing Address

Phone number

(804) 353-4500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TSW FORM ADV PART 2A (12/3/2024)

Regulatory assets under management

Total Number of Accounts	4,775
AUM (Assets Under Management)	$ 20,812,400,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Karen Jones

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Richmond, VA

Joseph Mcvey

UBS FINANCIAL SERVICES INC.

IAR

Powhatan, VA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Bernard M. Kroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bernard Michael Kroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPIRE WEALTH MANAGEMENT, LLC

SPIRE SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

THOMPSON SIEGEL & WALMSLEY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2017

SIE

Date: 10/1/2018

Series 7

Date: 10/26/2017

Series 6

Date: 2/13/2017

Current Firm

THOMPSON SIEGEL & WALMSLEY LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THOMPSON SIEGEL & WALMSLEY LLC

TRUST BUT VERIFY

Similar Advisors